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第12章 项目采购管理ProjectProcurement项目采购管理包括从项目团队外部采购或获得所需产品、服务或成果的各个过程。项目组织既可以是项目产品、服务或成果的买方，也可以是卖方。ProjectProcurementManagementincludestheprocessesnecessarytopurchaseoracquireproducts,services,orresultsneededfromoutsidetheprojectteam.Theorganizationcanbeeitherthebuyerorselleroftheproducts,services,orresultsofaproject.项目采购管理包括合同管理和变更控制过程。通过这些过程，编制合同或订购单，并由具备相应权限的项目团队成员签发，然后再对合同或订购单进行管理。ProjectProcurementManagementincludesthecontractmanagementandchangecontrolprocessesrequiredtodevelopandadministercontractsorpurchaseordersissuedbyauthorizedprojectteammembers.项目采购管理还包括控制外部组织（买方）为从执行组织（卖方）获取项目可交付成果而签发的任何合同，以及管理该合同所规定的项目团队应承担的合同义务。ProjectProcurementManagementalsoincludescontrollinganycontractissuedbyanoutsideorganization(thebuyer)thatisacquiringdeliverablesfromtheprojectfromtheperformingorganization(theseller),andadministeringcontractualobligationsplacedontheprojectteambythecontract.图12-1概括了项目采购管理的各个过程，包括PlanProcurementManagement—Theprocessofingprojectprocurementdecisions,specifyingtheapproach,andidentifyingpotentialsellers.实施采 Procurements—Theprocessofmanagingprocurementrelationships,monitoringcontractperformance,andmakingchangesandcorrectionsasappropriate.结束采closeProcurements—TheprocessofcompletingeachprojectTheseprocessesinteractwitheachotherandwithprocessesinotherKnowledgeAreasasdescribedindetailinSection3andAnnex项目采购管理过程围绕包括合同在内的协议来进行。协议是之间的法律文件合同是对双方都有约束力的协议，规定卖方有义务提供有价值的东西，如规定的产品、服务或成果，买方有义务支付货币或其他有价值的补偿。协议可简可繁，应该与可交付成果和所需工作的简繁程度相适应。TheProjectProcurementManagementprocessesinvolveagreements,includingcontracts,whicharelegalsbetweenabuyerandaseller.Acontractrepresentsamutuallybindingagreementthatobligatesthesellertoprovidesomethingofvalue(e.g.,specifiedproducts,services,orresults)andobligatesthebuyertoprovidemonetaryorothervaluablecompensation.Anagreementcanbesimpleorcomplex,andmayreflectthesimplicityorcomplexityofthedeliverablesorrequired采购合同中包括条款和条件，也可包括其他条目，如买方就卖方应实施的工作或应交的产品所做的规定。在遵守组织的采购政策的同时，项目管理团队必须确保所有采购都能满足项目的具体需要。因应用领域不同，合同也可称做协议、谅解、分包合同或订购单。大多数组织都有相关的政策和程序，来专门定义采购规则，并规定谁代表组织签署和管理协议。specifiesastowhattheselleristoperformorprovide.Itistheprojectmanagementteam’sresponsibilitytomakecertainthatallprocurementsmeetthespecificneedsoftheprojectwhileadheringtoorganizationalprocurementpolicies.Dependingupontheapplicationarea,acontractcanalsobecalledanagreement,anunderstanding,asubcontract,orapurchaseorder.Mostorganizationspoliciesandproceduresspecificallydefiningtheprocurementrulesandspecifyingwhohasauthoritytosignandadministersuchagreementsonbehalfoftheorganization.虽然所有项目文件可能都要经过某种形式的，但是，鉴于其法律约束力，合同或议通常需要经过的程序。在任何情况下，程序的主要目标是确保以清晰的合同语言来描述产品、服务或成果，以满足既定的项目需要。Althoughall smaybesubjecttosomeformofreviewandapproval,thelegallybindingofacontractoragreementusuallymeansitwillbesubjectedtoamoreextensiveapprovalprocess.Inallcases,theprimaryfocusofthereviewandapprovalprocessistoensurethatthecontractlanguagedescribestheproducts,services,orresultsthatwillsatisfytheidentifiedprojectneed.项目管理团队可尽早寻求合同、采购、法律和技术专家的支持。组织政策可能强行要求这些专家参与。Theprojectmanagementteammayseeksupportinearlyphasesfromspecialistsincontracting,purchasing,law,andtechnicaldisciplines.Suchinvolvementcanbemandatedbyanorganization’spolicies.项目采购管理过程所涉及的各种活动构成了协议生命周期。通过对协议生命周期进行极管理，并仔细斟酌采购条款和条件的措辞，某些可识别的项目风险就可由双方分担或转移给卖方。签订产品或服务协议，是分配风险管理责任或分担潜在风险的法。ThevariousactivitiesinvolvedintheProjectProcurementManagementprocessesformthelifecycleofanagreement.Byactivelymanagingtheagreementlifecycleandcarefullywordingthetermsandconditionsofaprocurement,someidentifiableprojectrisksmaybesharedortransferredtoaseller.Enteringintoanagreementforproductsorservicesisonemethodofallocatingtheresponsibilityformanagingorsharingpotentialrisks.在复杂项目中，可能需要同时或先后管理多个合同或分包合同。这种情况下，单项合的生命周期可在项目生命周期中的任何阶段结束。项目采购管理是从方关系的角度进行讨论的。方关系是采购组织与外部组织之间的关系，可存在于项目的许多层次上。Insuchcases,eachcontractlifecyclemayendduringanyphaseoftheprojectlifecycle.ProjectProcurementManagementisdiscussedwithintheofthebuyer-sellerrelationship.Thebuyer-sellerrelationshipmayexistatmanylevelsonanyoneproject,andbetweenorganizationsinternaltoandexternaltotheacquiring因应用领域不同，卖方可以是承包商、分包商、供货商、服务提供商或供应商。根据方在项目采购链中的不同位置，买方也可称为顾主、客户、总承包商、承包商、采购组织、服务需求者或采购方。在合同生命周期中，卖方首先是投标人，然后是中标人，之后是签约供应商或供货商。Dependingontheapplicationarea,thesellermaybeidentifiedasacontractor,subcontractor,vendor,serviceprovider,orr.Dependingonthebuyer’spositionintheprojectacquisitioncycle,thebuyermaybecalledaclient,customer,primecontractor,contractor,acquiringorganization,servicerequestor,orpurchaser.Thesellercanbeviewedduringthecontractlifecyclefirstasabidder,thenastheselectedsource,andthenasthecontractedrorvendor.如果涉及的不只是现货物资、商品或普通产品，则卖方通常应把相关工作当做一个项目来管理。在这种情况下：Thesellerwilltypicallymanagetheworkasaprojectiftheacquisitionisnotjustforshelfmaterial,goods,orcommonproducts.Insuchcases:买方成了客户，因而是卖方的一个关键项目干系人The esthecustomer,andisthusakeyprojectstakeholderfortheTheseller’sprojectmanagementteamisconcernedwithalltheprocessesofprojectmanagementnotonlywiththoseofthisKnowledgeArea.合同条款和条件成为卖方许多管理过程的关键输入。合同可以实际包含各种输入（如主要可交付成果、关键里程碑、成本目标，或者可以限制项目团队的选择余地（如在设计项目中，关于人员配备的决定往往要征得买方的批准Termsandconditionsofthecontract ekeyinputstomanyoftheseller’smanagementprocesses.Thecontractcanactuallycontaintheinputs(e.g.,majordeliverables,key tones,costobjectives),oritcanlimittheprojectteam’soptions(e.g.,buyerapprovalofstaffingdecisionsisoftenrequiredondesignprojects).本章假设买方由项目团队充当，而卖方则来自项目团队的外部。本章还假设方之有正式的合同关系。但是，本章的大多数内容同样适用于项目团队内部之间达成的、非合同形式的协议。Inthissection,itisassumedthatthebuyerofanitemfortheprojectisassignedtotheprojectteamandthatthesellerisorganizationallyexternaltotheprojectteam.Itisalsoassumedthataformalcontractualrelationshipbedevelopedandexistsbetweenthebuyerandtheseller.However,mostofthediscussioninthissectionisequallyapplicabletonon-contractualworkenteredintowithotherunitsoftheprojectteam’sorganization.规划采购管理PlanProcurement规划采购管理是记录项目采购决策、明确采购方法、识别潜在卖方的过程。本过程的要作用是，确定是否需要外部支持，如果需要，则还要决定采购什么、如何采购、采购多少，以及何时采购。图122、工具与技术和输出，图123是本过程的数据流向图。PlanProcurementManagementistheprocessofingprojectprocurementdecisions,specifyingtheapproach,andidentifyingpotentialsellers.Thekeybenefitofthisprocessisthatitdetermineswhethertoacquireoutsidesupport,andifso,whattoacquire,howtoacquireit,howmuchisneeded,andwhentoacquireit.Theinputs,toolsandtechniques,andoutputsofthisprocessaredepictedinFigure12-2.Figure12-3depictsthedataflowdiagramoftheprocess.规划采购规划采购规划采购管理识别哪些项目需求最好或应该通过从项目组织外部采购产品、服务或成来实现，哪些项目需求可由项目团队自行完成。如果项目需要从执行组织外部取得所需的产品、服务和成果，则每次采购都要经历从规划采购管理到结束采购的各个过程。PlanProcurementManagementidentifiesthoseprojectneedsthatcanbestbemetorshouldbemetbyacquiringproducts,services,orresultsoutsideoftheprojectorganization,versusthoseprojectneedswhichcan plishedbytheprojectteam.Whentheprojectobtainsproducts,services,andresultsrequiredforprojectperformancefromoutsideoftheperformingorganization,theprocessesfromPlanProcurementManagementthroughCloseProcurementsareperformedforeachitemtobeacquired.规划采购管理还包括评估潜在卖方，特别是如果买方希望对采购决策施加一定影响或制。还应考虑谁将负责获得或持有相关证或专业执照。这些证和执照可能是法律、ThePlanProcurementManagementprocessalsoincludesevaluatingpotentialsellers,particularlyifthebuyerwishestoexercisesomedegreeofinfluenceorcontroloveracquisitiondecisions.Thoughtshouldalsobegiventowhoisresponsibleforobtainingorholdinganyrelevantpermitsandprofessionallicensesthatmayberequiredbylegislation,regulation,ororganizationalpolicyinexecutingtheproject.项目进度计划对规划采购管理过程中的采购策略制定有重要影响。制定采购管理计划TherequirementsoftheprojectschedulecansignificantlyinfluencethestrategyduringthePlanProcurementManagementprocess.DecisionsmadeindevelotheprocurementmanagementplancanalsoinfluencetheprojectscheduleandareintegratedwithDevelopSchedule,EstimateActivityResources,andmake-or-buy 规划采购管理过程包括评估与每项或外购决策有关的风险，还包括拟使用的合同类型，以便规避或减轻风险，或者向卖方转移风险。ThePlanProcurementManagementprocessincludesevaluatingtherisksinvolvedwitheachmake-or-buyysis.Italsoincludesreviewingthetypeofcontractplannedtobeusedwithrespecttoavoidingormitigatingrisks,sometimestransferringriskstothe规划采购管理：输入PlanProcurementManagement:项目管理计划ProjectManagementDescribedinSection.Theprojectmanagementplandescribestheneed,justification,requirements,andcurrentboundariesfortheproject.Itincludes,butisnotlimitedto,thescopebaselinecontents:项目范围说明书。项目范围说明书包括产品范围描述、服务描述和成果描述、可交付成果和验收标准，以及有关技术问题的重要信息或可能影响成本估算的事项。它Projectscopestatement.Theprojectscopestatementcontainstheproductscopedescription,servicedescriptionandresultdescription,thelistofdeliverables,andacceptancecriteria,aswellasimportantinformationregardingtechnicalissuesorconcernsthatcouldimpactcostestimating.Identifiedconstraintsmayincluderequireddeliverydates,availableskilledresources,andorganizationalpolicies.WBS。工作分解结构（WBS）包含可从外部获取的工作组件WBS.Theworkbreakdownstructure(WBS)containsthecomponentsofworkthatmayberesourced为产生每个可交付成果而需要进行的WBS组件的工作内容。 ofthedeliverablesandadescriptionoftheworkineachWBScomponentrequiredtoproduceeach需求文件requirements见节。需求文件中可能包括 与采购规划有关的、关于项目需求的重要信息带有合同和法律含义的需求，如健康、安全、安保、绩效、环境、保险、知识、同等就业机会、执照和证。在规划采购时，需要考虑全部这些因素。Requirementswithcontractualandlegalimplicationsthatmayincludehealth,safety,security,performance,environmental,insurance,inlectualpropertyrights,equalemploymentopportunity,licenses,andpermits—allofwhichareconsideredwhenplanningforprocurements.风险登记册 险登记册更新包含在规划风险应对过程所得到的项目文件更新中（见节。DescribedinSection.Theriskregisterprovidesthelistofrisks,alongwiththeresultsofrisk andriskresponseplanning.Updatestotheriskregisterareincludedwithproject updatesdescribedinSection,fromthePlanRiskResponsesprocess.活动资源需求 resource见节。活动资源需求中包括诸如所需人员、所需设备或所处位置的信息。DescribedinSectionActivityresourcerequirementscontaininformationonspecificneedssuchaspeople,equipment,orlocation.项目进度计划Project见节。项目进度计划中包括有关时间表或强制交付日期的信息DescribedinSection.Projectschedulecontainsinformationonrequiredtimelinesormandateddeliverabledates.活动成本估算 cost节。使用为采购活动编制的成本估算，来评价潜在卖方提交的投标书或DescribedinSection.Costestimatesdevelopedbytheprocuringactivityareusedtoevaluatethereasonablenessofthebidsorproposalsreceivedfrompotentialsellers.见节。干系人登记册提供了项目参与者及其在项目中的利益的详细信息。DescribedinSectionThestakeholderregisterprovidesdetailsontheprojectparticipantsandtheirinterestsintheproject.见2.1.5节。能够影响规划采购管理过程的事业环境因素包括（但不限于DescribedinSection2.1.5.TheenterpriseenvironmentalfactorsthatcaninfluencethePlanProcurementManagementprocessinclude,butarenotlimitedto:市场条件可从市场获得的产品、服务和成果Products,services,andresultsthatareavailableinthe供应商情况，包括其以往绩效或声誉适用于产品、服务和成果的典型条款和条件，或适用于特定行业的典型条款和条件当地的独特要求Uniquelocal组织过程资产organizationalProcess：DescribedinSection2.1.4.ThevarioustypesofcontractualagreementsusedbytheorganizationalsoinfluencedecisionsforthePlanProcurementManagementprocess.TheorganizationalprocessassetsthatinfluencethePlanProcurementManagementprocessinclude,butarenotlimitedto:正式的采购政策、程序和指南。大多数组织都有正式的采购政策和采购机构。如果没有，项目团队自身就应该拥有相关的资源和专业技能，来实施采购活动。Formalprocurementpolicies,procedures,andguidelines.Mostorganizationshaveformalprocurementpoliciesandbuyingorganizations.Whensuchprocurementsupportisnotavailable,theprojectteamshouldsupplyboththeresourcesandtheexpertisetoperformsuchprocurementactivities.与制定采购管理计划和选择合同类型有关的管理系统Managementsystemsthatareconsideredindevelotheprocurementmanagementplanandselectingthecontractualrelationshipstobeused.基于以往经验的、现有的多层次供应商系统（由已通过资格预审的卖方组成Anestablishedmulti-tierrsystemofprequalifiedsellersbasedonprior通常可把合同分成两大类，即总价类和成本补偿类合同。还有第三种常用的混合类，工料合同。下面把这些常用合同类型分开来讨论，但在实践中，合并使用两种甚至合同类型进行单次采购的情况也并不罕见。Alllegalcontractualrelationshipsgenerallyfallintooneoftwobroadfamilies:eitherfixed-priceorcostreimbursable.Also,thereisathirdhybridtypecommonlyinusecalledthetimeandmaterialscontract.Themorepopularcontracttypesinusearediscussedbelowasdiscretetypes,butinpracticeitisnotunusualtocombineoneormoretypesintoasingleprocurement.总价合同。此类合同为既定产品、服务或成果的采购设定一个总价。总价合同也可以为达到或超过项目目标（如进度交付日期、成本和技术绩效，或其他可量化、可测量的目标）而规定财务条款。卖方必须依法履行总价合同，否则就可能要承担相应的财务赔偿责任。采用总价合同，买方需要准确定义拟采购的产品或服务。虽然可能允许范围变更，但范围变更通常会导致合同价格提高。 Thiscategoryofcontractsinvolvessettingafixedtotalpriceforadefinedproduct,service,orresulttobeprovided.Fixed-pricecontractsmayalsoincorporatefinancialincentivesforachievingorexceedingselectedprojectobjectives,suchasscheduledeliverydates,costandtechnicalperformance,oranythingthatcanbefiedandsubsequentlymeasured.Sellersunderfixed-pricecontractsarelegallyobligatedtocompletesuchcontracts,withpossiblefinancialdamagesiftheydonot.Underthefixed-pricearrangement,buyersneedtopreciselyspecifytheproductorservicesbeingprocured.Changesinscopemay modated,butgenerallywithanincreaseincontract卖方有义务完成工作，并且承担因不良绩效导致的任何成本增加。在FFP合同下，买方应该准确定义拟采购的产品和服务，对采购规范的任何变更都会增加买方的成本。FirmFixedPriceContracts(FFP).ThemostcommonlyusedcontracttypeistheFFP.Itisfavoredbymostbuyingorganizationsbecausethepriceforgoodsissetattheoutsetandnotsubjecttochangeunlessthescopeofworkchanges.Anycostincreaseduetoadverseperformanceistheresponsibilityoftheseller,whoisobligatedtocompletetheeffort.UndertheFFPcontract,thebuyershouldpreciselyspecifytheproductorservicestobeprocured,andanychangestotheprocurementspecificationcanincreasethecoststothebuyer.（FPIF允许一定的绩效偏离，并对实现既定目标给予财务。财务通常与卖方FixedPriceIncentiveFeeContracts(FPIF).Thisfixed-pricearrangementgivesthebuyerandsellersomeflexibilityinthatitallowsfordeviationfromperformance,withfinancialincentivestiedtoachievingagreeduponmetrics.Typicallysuchfinancialincentivesarerelatedtocost,schedule,ortechnicalperformanceoftheseller.Performancetargetsareestablishedattheoutset,andthefinalcontractpriceisdeterminedaftercompletionofallworkbasedontheseller’sperformance.UnderFPIFcontracts,apriceceilingisset,andallcostsabovethepriceceilingaretheresponsibilityoftheseller,whoisobligatedtocompletethework.总价加经济价格调整合同（FP—EPA。如果卖方的履约期将相当长的时（数年，就应该使用本合同类型。它有利于方之间维持多种长期关系。它是一种特殊的总价合同，允许根据条件变化（如通货膨胀、某些特殊商品的成本增降，以事先确定的方式对合同价格进行最终调整。EA条款必须规定用于准确调整最终价格的、可靠的财务指数。FP—EA合同试图保护买方和卖方免受外界不可控情况的影响。FixedPricewithEconomicPriceAdjustmentContracts(FP-EPA).Thiscontracttypeisusedwhenevertheseller’sperformanceperiodspansaconsiderableperiodofyears,asisdesiredwithmanylong-termrelationships.Itisafixed-pricecontract,butwithaspecialprovisionallowingforpredefinedfinaladjustmentstothecontractpriceduetochangedconditions,suchasinflationchanges,orcostincreases(ordecreases)forspecificcommodities.TheEPAclauseneedstorelatetosomereliablefinancialindex,whichisusedtopreciselyadjustthefinal成本补偿合同。此类合同向卖方支付为完成工作而发生的全部合法实际成本（可报销成本，外加一笔费用作为卖方的利润。成本补偿合同也可为卖方超过或低于预定目标（如成本、进度或技术绩效目标）而规定财务条款最常见的三种本补偿合同是：成本加固定费用合同（CPFF、成本加激励费用合同（PIF）和成本加费用合同（PAF。如果工作范围在开始时无法准确定义，而需要在以后调整，或者，如果项目存在较高的风险，就可以采用成本补偿合同，使项目具有较大的灵活性，以便重新安排卖方的工作。thesellerforalllegitimateactualcostsincurredforcompletedwork,plusafeerepresentingsellerprofit.Cost-reimbursablecontractsmayalsoincludefinancialincentiveclauseswheneverthesellerexceeds,orfallsbelow,definedobjectivessuchascosts,schedule,ortechnicalperformancetargets.Threeofthemorecommontypesofcost-reimbursablecontractsinuseareCostPlusFixedFee(CPFF),CostPlusIncentiveFee(CPIF),andCostPlusAwardFee(CPAF).workcannotbepreciselydefinedatthestartandneedstobealtered,orwhenhighrisksmayexistinthe成本加固定费用合同（CPFF。为卖方报销履行合同工作所发生的一切可列支成本，并向卖方支付一笔固定费用，该费用以项目初始成本估算的某一百分比计算。费用只能针对已完成的工作来支付，并且不因卖方的绩效而变化。除非项目范围发生变更，否则费用金额维持不变。CostPlusFixedFeeContracts(CPFF). Thesellerisreimbursedforallallowablecostsforperformingthecontractwork,andreceivesafixed-feepaymentcalculatedasapercentageoftheinitialestimatedprojectcosts.Afeeispaidonlyforcompletedworkanddoesnotchangeduetosellerperformance.Feeamountsdonotchangeunlesstheprojectscopechanges.（CPIF在CPIF合同中，如果最终成本低于或高于原始估算成本，则买方和卖方需要CostPlusIncentiveFeeContracts(CPIF).Thesellerisreimbursedforallallowablecostsforperformingthecontractworkandreceivesapredeterminedincentivefeebaseduponachievingcertainperformanceobjectivesassetforthinthecontract.InCPIFcontracts,ifthefinalcostsarelessorgreaterthantheoriginalestimatedcosts,thenboththebuyerandsellersharecostsfromthedeparturesbaseduponaprenegotiatedcost-sharingformula,forexample,an80/20splitover/undertargetcostsbasedontheactualperformanceoftheseller.成本加费用合同（CPAF。为卖方报销一切合法成本，但只有在卖方满足合同规定的、某些笼统的绩效标准的情况下，才向卖方支付大部分费用。完全由买方根据自己对卖方绩效的判断来决定费用，并且通常不允许申诉CostPlusAwardFeeContracts(CPAF).Thesellerisreimbursedforalllegitimatecosts,butthemajorityofthefeeisearnedonlybasedonthesatisfactionofcertainbroadsubjectiveperformancecriteriadefinedandincorporatedintothecontract.Thedeterminationoffeeisbasedsolelyonthesubjectivedeterminationofsellerperformancebythebuyer,andisgenerallynotsubjecttoappeals.工料合同（T&M。工料合同是兼具成本补偿合同和总价合同的某些特点的混合型合同。在不能很快编写出准确工作说明书的情况下，经常使用工料合同来增加人员、聘请专家和寻求其他外部支持。这类合同与成本补偿合同的相似之处在于，它们都是开口合同，合同价因成本增加而变化。在授予合同时，买方可能并未确定合同的总价值和采购的准确数量。因此，如同成本补偿合同，工料合同的合同价值可以增加。很多组织要求在工料合同中规定最高价值和时间限制，以防止成本无限增加。另外，由于合同中确定了一些参数，工料合同又与固定单价合同相似。当就特定资源的价格（如高级工程师的小时费率或某种材料的单位费率）达成一致意见时，买方和卖方也就预先设定了单位人力或材料费率（包含卖方利润。TimeandMaterial contracts(t&M). Timeandmaterialcontractsareahybridtypeofcontractualarrangementthatcontainaspectsofbothcost-reimbursableandfixed-pricecontracts.Theyareoftenusedforstaffaugmentation,acquisitionofexperts,andanyoutsidesupportwhenaprecisestatementofworkcannotbequicklyprescribed.Thesetypesofcontractsresemblecost-reimbursablecontractsinthattheycanbeleftopenendedandmaybesubjecttoacostincreaseforthebuyer.Thefullvalueoftheagreementandtheexacttyofitemstobedeliveredmaynotbedefinedbythebuyeratthetimeofthecontractaward.Thus,T&Mcontractscanincreaseincontractvalueasiftheywerecost-reimbursablecontracts.Manyorganizationsrequirenot-to-exceedvaluesandtimelimitsplacedinallT&Mcontractstopreventunlimitedcostgrowth.Conversely,T&Mcontractscanalsoresemblefixedunitpricearrangementswhencertainparametersarespecifiedinthecontract.Unitlaborormaterialratescanbepresetbythebuyerandseller,includingsellerprofit,whenbothpartiesagreeonthevaluesforspecificresourcecategories,suchasseniorengineersatspecifiedratesperhour,orcategoriesofmaterialsatspecifiedratesperunit.规划采购管理：工具与技术PlanProcurementManagement:toolsandtechniques 或外购分析是一种通用的管理技术，用来确定某项工作最好由项目团队自行完成还是应该从外部采购。有时，虽然项目组织内部具备相应的能力，但由于相关资源正在从其他项目，为满足进度要求，也需要从组织外部进行采购Amake-or-buyysisisageneralmanagementtechniqueusedtodeterminewhetherparticularworkbestbe plishedbytheprojectteamorshouldbepurchasedfromoutsidesources.Sometimesacapabilitymayexistwithintheprojectorganization,butmaybecommittedtoworkingonotherprojects,inwhichcase,theprojectmayneedtosourcesucheffortfromoutsidetheorganizationinordertomeetitsschedulecommitments.预算制约因素可能影响或外购决策。如果决定，则应继续做出或租赁的策。或外购分析应考虑全部相关成本，包括直接成本与间接成本。例如，买方在分析外购时，既要考虑产品本身的实际支出，也要考虑为支持采购过程和该产品所发生的间接成本。Budgetconstraintsmayinfluencemake-or-buydecisions.Ifabuydecisionistobemade,thenafurtherdecisionofwhethertopurchaseorleaseisalsomade.Amake-or-buy ysisshouldconsiderallrelatedcosts—bothdirectcostsaswellasindirectsupportcosts.Forexample,thebuy-sideofthe ysisincludesboththeactualout-of-pocketcoststopurchasetheproduct,aswellastheindirectcostsofsupportingthepurchasingprocessandpurchaseditem.在进行外购分析时，也要考虑可用的合同类型。采用何种合同类型，取决于想要如何在间分担风险，而双方各自承担的风险程度，则取决于具体的合同条款。在某些法律体系中，还有其他合同类型，例如，基于卖方义务（而非客户义务）的合同类型。一旦选定适用法律，合同双方就必须确定合适的合同类型。Availablecontracttypesarealsoconsideredduringthebuyysis.Therisksharingbetweentheandsellerdeterminesthesuitablecontracttypes,whilethespecificcontracttermsandconditionsformalizethedegreeofriskbeingassumedbythebuyerandseller.Somejurisdictionshaveothertypesofcontractsdefined,forexample,contracttypesbasedontheobligationsoftheseller—notthecustomer—andthecontractpartieshavetheobligationtoidentifytheappropriatetypeofcontractassoonastheapplicablelawhasbeenagreedupon.专家判断Expert专家判断常用来评估本过程的输入和输出。专家的采购判断也可用来制定或修改卖方议书评价标准。专家的法律判断可以是法律工作者所提供的相关服务，用来协助处理一些特殊的采购事项、条款和条件。专家判断（包括商务和技术判断）不仅适用于拟采购产品、服务或成果的技术细节，而且也适用于采购管理过程的各个方面。Expertjudgmentisoftenusedtoassesstheinputstoandoutputsfromthisprocess.Expertpurchasingjudgmentcanalsobeusedtodevelopormodifythecriteriathatwillbeusedtoevaluatesellerproposals.Expertlegaljudgmentmayinvolvetheservicesoflegalstafftoassistwithuniqueprocurementissues,terms,andconditions.Suchjudgment,includingbusinessandtechnicalexpertise,canbeappliedtoboththetechnicaldetailsoftheacquiredproducts,services,orresultsandtovariousaspectsoftheprocurementmanagementprocesses.research包括行业情况和供应商能力。采购团队可以综合考虑从研讨会、评和各种其他得到的信息，来了解市场情况。采购团队可能也需要考虑有能力提供所需材料或服务的供应商的范围，权衡与之有关的风险，并优化具体的采购目标，以便利用成熟技术。leverageinformationgainedatconferences,onlinereviewsandavarietyofsourcestoidentifymarketcapabilities.Theteammayalsorefineparticularprocurementobjectivestoleveragematuringtechnologieswhilebalancingrisksassociatedwiththebreadthofvendorswhocanprovidethematerialsorservicesdesired.会议不借助与潜在投标人的信息交流会，仅靠调研，也许还不能获得制定采购决策所需的确信息。与潜在投标人合作，有利于供应商开发互惠的方案或产品，从而有益于材料或服务的买方。Researchalonemaynotprovidespecificinformationtoformulateaprocurementstrategywithoutadditionalinformationinterchangemeetingswithpotentialbidders.Bycollaboratingwithpotentialbidders,theorganizationpurchasingthematerialorservicemaybenefitwhilethercaninfluenceamutuallybeneficialapproachor规划采购管理：输出PlanProcurement 采购管理计划ProcurementManagement采购管理计划是项目管理计划的组成部分，说明项目团队将如何从执行组织外部获取物和服务，以及如何管理从编制采购文件到合同收尾的各个采购过程。采购管理计划包括如下内容：Theprocurementmanagementplanisacomponentoftheprojectmanagementplanthatdescribeshowaprojectteamwillacquiregoodsandservicesfromoutsidetheperformingorganization.Itdescribeshowtheprocurementprocesseswillbemanagedfromdeveloprocurementsthroughcontractclosure.Theprocurementmanagementplancanincludeguidancefor:Typesofcontractstobe风险管理事项是否需要编制独立估算，以及是否应把独立估算作为评价标准WhetherindependentestimateswillbeusedandwhethertheyareneededasevaluationThoseactionstheprojectmanagementteamcantakeunilaterally,iftheperformingorganizationhasaprescribedprocurement,contracting,orpurchasingdepartment;标准化的采购文件（如需要如何管理多个供应商如何协调采购工作与项目的其他工作，如制定进度计划与报告项目绩效可能影响采购工作的制约因素和假设条件如何处理某些产品的采购需要提前较长时间的问题，并在项目进度计划中考虑所需时间Handlingthelongleadtimestopurchasecertainitemsfromsellersandcoordinatingtheextratimeneededtoprocuretheseitemswiththedevelopmentoftheprojectschedule;如何进行或外购决策，并把该决策与估算活动资源和制定进度计划等过程联系在一起；Handlingthemake-or-buydecisionsandlinkingthemintotheEstimateActivityResourcesandDevelopScheduleprocesses;Settingthescheduleddatesineachcontractforthecontractdeliverablesandcoordinatingwiththescheduledevelopmentandcontrolprocesses;如何识别对履约担保或保险合同的需求，以减轻某些项目风险如何指导卖方编制和工作分解结构（WBSEstablishingthedirectiontobeprovidedtothesellersondeveloandmaintainingaworkbreakdownstructure(WBS);如何确定采购/Establishingtheformandformattobeusedfortheprocurement/contractstatementsof如何识别预审合格的卖方（用于管理合同和评价卖方的采购测量指标Procurementmetricstobeusedtomanagecontractsandevaluate根据每个项目的需要，采购管理计划可以是正式或非正式的，非常详细或高度概括的Aprocurementmanagementplancanbeformalorinformal,canbehighlydetailedorbroadlyframed,andisbasedupontheneedsofeachproject.采购工作说明书ProcurementStatementof依据项目范围基准，为每次采购编制工作说明书（SOW），对将要包含在相关合同中的Thestatementofwork(SOW)foreachprocurementisdevelopedfromtheprojectscopebaselineanddefinesonlythatportionoftheprojectscopethatistobeincludedwithintherelatedcontract.TheprocurementSOWdescribestheprocurementiteminsufficientdetailtoallowprospectivesellerstodetermineiftheyarecapableofprovidingtheproducts,services,orresults.Sufficientdetailcanvarybasedonthenatureoftheitem,theneedsofthebuyer,ortheexpectedcontractform.InformationincludedinaSOWcanincludespecifications,tydesired,qualitylevels,performancedata,periodofperformance,worklocation,andotherrequirements.采购 应力求清晰、完整和简练。它也应该说明任何所需的附带服务，如绩效报告项目后的运营支持等。某些应用领域对采购SOW有特定的内容和格式要求。每次进行采购，都需要编制SOW。不过，可以把多个产品或服务组合成一个采购包，由一个SOW全部覆盖。TheprocurementSOWiswrittentobeclear,complete,andconcise.Itincludesadescriptionofanycollateralservicesrequiredsuchasperformancereportingorpost-projectoperationalsupportfortheprocureditemInsomeapplicationareas,therearespecificcontentandformatrequirementsforaprocurementSOW.EachindividualprocurementitemrequiresaSOW;however,multipleproductsorservicescanbegroupedasoneprocurementitemwithinasingle在采购过程中，应根据需要对采购SOW进行修订和改进，直到成为所签协议的一部分。TheprocurementSOWcanberevisedandrefinedasrequiredasitmovesthroughtheprocurementprocessuntilincorporatedintoasignedagreement.采购文件 采购文件是用于征求潜在卖方的。如果主要依据价格来选择卖方（如商业标准产品时，通常就使用标书、投标或报价等术语。如果主要依据其他考虑（如技术能力或技术方法）来选择卖方，通常就使用诸如的术语。不同类型的采购文件有不同的常用名称，可能包括信息邀请书（RFI、投标邀标书（IFB、建议邀请书（RFP、报价邀请书（RFQ、投tsredotsfrmrotive.Trmshs,te,tatneydnthernnwillednrice(aswhnglorstandarditems),whileatermsuchasproposalisgenerallyusedwhenotherconsiderations,suchastechnicalcapabilityortechnicalapproachareparamount.Commontermsareinusefordifferenttypesofprocurementsandmayincluderequestforinformation(RFI),invitationforbid(IFB),requestforproposal(RFP),requestforquotation(RFQ),tendernotice,invitationfornegotiation,andinvitationforseller’sinitialresponse.Specificprocurementterminologyusedmayvarybyindustryandlocationoftheprocurement.买方拟定的采购文件不仅应便于潜在卖方做出准确、完整的应答，还要便于对卖方应进行评价。采购文件中应该包括应答格式要求、相关的采购工作说明书（SOW）及所需的合同条款。对于采购，可能规定了采购文件的部分甚至全部内容和结构。Thebuyerstructuresprocurementstofacilitateanaccurateandcompleteresponsefromeachprospectivesellerandtofacilitateeasyevaluationoftheresponses.Thesesincludeadescriptionofthedesiredformoftheresponse,therelevantprocurementstatementofwork(SOW)andanyrequiredcontractualprovisions.With ernmentcontracting,someorallofthecontentandstructureofprocurementsmaybedefinedbyregulation.采购文件的复杂和详细程度应与采购的价值和风险水平相适应。采购文件既要足以保卖方做出一致且适当的应答，又要具有足够的灵活性，允许卖方为满足既定要求而提出更好的建议。Thecomplexityandlevelofdetailoftheprocurementsshouldbeconsistentwiththevalueof,andrisksassociatedwith,theplannedprocurement.Procurementsarerequiredtobesufficienttoensureconsistent,appropriateresponses,butflexibleenoughtoallowconside